Regulatory Counsel - Investment Management

The Regulatory Counsel - Investment Management will provide legal advice and support on regulatory matters, ensuring regulatory compliance.

Client Details

Investment management firm.

Description

• Collaborate with teams across the firm and with Legal & Compliance colleagues to ensure all business activities are carried out in full compliance with applicable legal, regulatory, and internal requirements.
• Review and assess complex legal and regulatory issues relating to the firm's trading activity, particularly involving swaps and other derivative instruments, and develop and implement the necessary policies and procedures.
• Provide guidance to investment professionals on derivatives, securities laws, and regulatory obligations in multiple jurisdictions to support compliant and effective trading operations.
• Lead or support the preparation of regulatory filings and serve as a point of contact with regulatory authorities.
• Provide guidance on regulatory and compliance risk management, helping the firm anticipate and mitigate emerging risks.
• Conduct legal research, develop educational materials, and deliver training to internal teams on evolving regulatory requirements.
• Contribute to the development, enhancement, and implementation of firm‑wide compliance policies and procedures to strengthen the control environment.

Profile

A successful Regulatory Counsel - Investment Management should have:

• Juris Doctor (JD) degree from a T-25 accredited law school with excellent academic credentials.
• Admission to NY State Bar.
• 5-12 years of experience at a top law firm, asset management firm, investment bank, and/or other financial services firm handling SWAPs, derivatives and regulatory matters.
• Experience drafting ISDAs, confirms, MSFTAs, and other derivative documentation.
• Strong knowledge of the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940.
• Proven ability to analyze complex legal and regulatory issues effectively.
• Excellent communication and negotiation skills.
• Detail-oriented approach with strong organizational skills.
• Ability to work collaboratively with cross-functional teams.

Job Offer

• Competitive base salary ranging from $285,000 to $355,000 USD.
• Comprehensive benefits package.
• Cash bonus, LTIP.
• Potential for professional growth and development.
• Collaborative and professional work environment.

Page Executive is the global executive search, senior leadership recruitment, and executive advisory arm of PageGroup plc.

PageGroup PLC was established in the United Kingdom in 1976. With over 45 years of experience, PageGroup is a globally recognized leader in professional recruitment.

Operating across 36 markets with more than 130 offices, our expertise spans multiple industries and job functions. We provide tailored recruitment solutions through four distinct brands.